transcript   Transcript

Who is an Investment Adviser; Regulatory Jurisdiction

Recorded on: Jun. 28, 2017
Running Time: 01:06:51

Full Transcript:

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Taken from the Web Program Fundamentals of Investment Adviser Regulation 2017 recorded June, 2017 in New York.

Who is an Investment Adviser; Regulatory Jurisdiction [01:06:51]
  • The Adviser definition
  • Exceptions to the definition
  • How does the SEC administer the Advisers Act?
  • State regulation
  • The interplay between the SEC and the States
  • The role of the other regulators (DOL, FINRA, OCC, CFTC)
Kenneth J. Berman, Clifford E. Kirsch, G. Philip Rutledge

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Registration Under the Investment Advisers Act of 1940: Who Is an Investment Adviser? (April 28, 2017)
    Kenneth J. Berman, Gregory T. Larkin, Julie Baine Stem
  • Introduction to the Investment Advisers Act
    Clifford E. Kirsch
  • State Registration of Investment Advisers
    G. Philip Rutledge

Presentation Material

  • Introduction to the Investment Advisers Act of 1940
    Clifford E. Kirsch
  • State Regulation of Investment Advisers
    G. Philip Rutledge
Kenneth J Berman ~ Debevoise & Plimpton LLP
Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
G. Philip Rutledge ~ Bybel Rutledge LLP
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